On August 7, OCIE staff released a risk alert containing the staff's observations from its Cybersecurity 2 Initiative, an examination of 75 investment advisers, broker dealers, and investment companies to assess industry practices and legal and compliance issues related to cybersecurity preparedness. While the staff noted a general increase in preparedness among the firms it examined, it also observed a number of issues that firms should consider in order to improve their cybersecurity policies and procedures.
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